Dodd-Frank Public Companies and Securities
SEC Begins Revamping Registration Process Following JOBS Act
Public Companies and Securities The SEC has issued a number of frequently asked questions outlining the interaction between confidential registration statements permitted under the JOBS Act and the balance of the registration and offering process. We expect many of these FAQs will be subsequently incorporated into the SEC’s rules with perhaps some adjustments as the process becomes more formalized. [...] Read more →
Permissible Advertising Before the SEC Lifts the Ban on General Solicitation Under the JOBS Act
Public Companies and Securities One of the JOBS Act questions of the day seems to be this: I’m an entrepreneur with a private company. I understand the SEC has to take steps to lift the ban on general... Read more →
JOBS Act Mania
Public Companies and Securities President Obama signed the JOBS Act today, April 5, 2012. “Ready, set, crowdfund!” was the constant drum beat on Twitter. In one of the most perplexing moments of the day,... Read more →
The Role of Brokers and Funding Portals in Crowdfunding Transactions
Broker-Dealer, Public Companies and Securities All crowdfunding transactions under the JOBS Act must be conducted either through a registered broker or a new type of regulated entity called a funding portal. While we discuss... Read more →
SEC Report on Implementation of Organizational Reform
Public Companies and Securities The SEC staff has issued a report on the implementation of organizational reform pursuant to Section 967 of the Dodd-Frank Act. The purpose of the report to Congress is to... Read more →
Issuer Requirements for Crowdfunding Under the JOBS Act
Broker-Dealer, Public Companies and Securities, Uncategorized The JOBS Act takes the unprecedented step of permitting crowdfunding. The statute permits, subject to SEC rulemaking, the ability to offer and sell securities to numerous people... Read more →
Some Ruminations on the JOBS Act’s Regulation D Provisions
Broker-Dealer, Private Equity, Public Companies and Securities The Dodd-Frank Act was overarching, cumbersome and, from its inception, has created much ongoing regulatory uncertainty. While there are some open issues raised by the JOBS Act,... Read more →
Winning and Losing Provisions of the JOBS Act
Broker-Dealer, Private Equity, Public Companies and Securities The House of Representatives has passed the Senate version of the Jumpstart Our Business Startups Act, or JOBS Act, and President Obama is expected to sign the legislation. ... Read more →
JOBS Act on the Way
Banking, Broker-Dealer, Private Equity, Public Companies and Securities The House of Representatives has passed the Senate version of the Jumpstart Our Business Startups Act ,or JOBS Act, and President Obama is expected to sign the legislation. Some... Read more →
OECD Issues Due Diligence Guidance for Responsible Supply Chains—Gold
Public Companies and Securities The OECD has issued a “Supplement on Gold” which forms an integral part of the OECD Due Diligence Guidance for Minerals from Conflict-Affected and High-Risk Areas. ... Read more →